The New Shareholder Power,
2013
Pepperdine University
A Note On Individual Recovery In Derivative Suits,
2013
Pepperdine University
A Note On Individual Recovery In Derivative Suits, Richard A. Booth
Pepperdine Law Review
No abstract provided.
The Supreme Court And The Shareholder Litigant: Basic, Inc. V. Levinson In Context,
2013
Pepperdine University
The Supreme Court And The Shareholder Litigant: Basic, Inc. V. Levinson In Context, Jayne W. Barnard
Pepperdine Law Review
No abstract provided.
The "In Connection With" Requirement Of Rule 10b-5,
2013
Pepperdine University
The "In Connection With" Requirement Of Rule 10b-5, C. Edward Fletcher Iii
Pepperdine Law Review
No abstract provided.
Restricted Investment In Private Equity: The Volcker Rule's Incursion Into Banking?,
2013
Cornell Law School
Restricted Investment In Private Equity: The Volcker Rule's Incursion Into Banking?, Manasa Reddy Gummi
Cornell Law School LL.M. Student Research Papers
Investment in private equity originally came from individual investors and corporations. However, over the years institutional investors have become prominent in the investor pool with the hope of achieving risk adjusted returns. Banks have become significant sources of funds in the private equity market. Bank affiliate groups account for a significant share of the private equity activity as well as the banks’ own capital. A distinct feature of a leveraged buyout by a private equity firm as opposed to strategic buyouts and other transactions is the significant reliance on debt financing. Typically, shell companies with substantially no assets would be …
Financial Reform In The European Union: Establishing The
Common Technical Rulebook,
2013
Pacific McGeorge School of Law
Financial Reform In The European Union: Establishing The Common Technical Rulebook, Derek Takehara
Global Business & Development Law Journal
No abstract provided.
Rethinking U.S. Investment Adviser Regulation,
2013
Chicago-Kent College of Law
Rethinking U.S. Investment Adviser Regulation, Anita Krug
All Faculty Scholarship
(Excerpt)Now, in the aftermath of Dodd-Frank's enactment and the SEC's associated bout of rulemaking, one might think that the Advisers Act's regulatory regime is a workable and effective one, equipped to address - and address efficiently - the investor-protection risks that the twenty-first-century investment adviser industry produces. In fact, however, Dodd-Frank did not touch - and, indeed, Dodd-Frank's crafters indicated no awareness of - many of the Advisers Act's longstanding troubles. Additionally, the changes Dodd-Frank brought about have their own considerable deficiencies. As this Article contends, the U.S. investment adviser regulatory regime, now seventy-four years old, is in need of …
The Field In Ireland In 2014,
2013
Technological University Dublin
The Field In Ireland In 2014, Tom Dunne
Articles
Repossessions are an important part of recovery in the housing market
What Kahneman Means For Lawyers: Some Reflections On Thinking, Fast And Slow,
2013
Loyola University Chicago, School of Law
What Kahneman Means For Lawyers: Some Reflections On Thinking, Fast And Slow, Charles W. Murdock, Barry Sullivan
Loyola University Chicago Law Journal
No abstract provided.
The Dangers Of Missing The Forest: The Harm Caused By Verifone Holdings In A Tellabs World,
2013
Cohen Milstein Sellers & Toll PLLC
The Dangers Of Missing The Forest: The Harm Caused By Verifone Holdings In A Tellabs World, Carol V. Gilden, Michael B. Eisenkraft, Josh Segal
Loyola University Chicago Law Journal
No abstract provided.
Punishing Bad Brokers: Self-Regulation And Finra Sanctions,
2013
University of Cincinnati College of Law
Punishing Bad Brokers: Self-Regulation And Finra Sanctions, Barbara Black
Faculty Articles and Other Publications
Regulation of the broker-dealer industry by a self-regulatory organization (SRO) is an integral part of the federal regulatory scheme under the Securities Exchange Act of 1934 (the Exchange Act). As a result, the Financial Industry Regulatory Authority (FINRA), the sole SRO for U.S. broker-dealers, plays an important role in protecting investors, especially retail investors, and bolstering investor confidence in the securities industry and capital markets. In 2012 FINRA brought 1,541 disciplinary actions against registered individuals and firms, levied fines totaling more than $68 million and ordered restitution of $34 million. It expelled 30 firms, barred 294 individuals and suspended another …
Curbing Broker-Dealers' Abusive Sales Practices: Does Professor Jensen's Integrity Framework Offer A Better Approach?,
2013
University of Cincinnati College of Law
Curbing Broker-Dealers' Abusive Sales Practices: Does Professor Jensen's Integrity Framework Offer A Better Approach?, Barbara Black
Faculty Articles and Other Publications
Retail investors, particularly senior citizens, need competent and careful investment advice more than ever before. Many must rely on the services provided by investment advice providers, including broker-dealers. Regulators have sounded the alarm about sales of risky, complex products to retail customers in search of better returns, especially senior citizens and retirees. Both the SEC and FINRA have identified abusive broker-dealer sales practices as priorities in their examinations of broker-dealers and have brought numerous enforcement actions against broker-dealers for sales practices that harm retail investors. These enforcement actions frequently allege both failures of the firms’ due diligence processes to assure …
Foreword: Behavioral Econimis And Investor Protection,
2013
Loyola University Chicago, School of Law
Foreword: Behavioral Econimis And Investor Protection, Michael J. Kaufman
Loyola University Chicago Law Journal
No abstract provided.
A Behavioral View Of Investor Protection,
2013
University of Illinois
A Behavioral View Of Investor Protection, Thomas S. Ulen
Loyola University Chicago Law Journal
No abstract provided.
Conjoining "Recklessness" In Securities Fraud Cases To Moral Culpability,
2013
U.S. District Courth for the Southern District of New York
Conjoining "Recklessness" In Securities Fraud Cases To Moral Culpability, Jed S. Rakoff
Loyola University Chicago Law Journal
No abstract provided.
An Examination Of Foreign Corrupt Practices Act Issues,
2013
Southern Illinois University School of Law
An Examination Of Foreign Corrupt Practices Act Issues, Mike Koehler
Richmond Journal of Global Law & Business
This article provides an overview of 2012 Foreign Corrupt Practice Act enforcement and examines the top FCPA issues from the year. The goal of the article is to place FCPA enforcement in better context and provide readers a more informed base in analyzing enforcement trends, assess- ing enforcement agency rhetoric and policy positions, and in sifting through the mounds of information disseminated by FCPA Inc.
China’S Currency Practices And “Currency Manipulation”:
The Power Of Action In Inaction,
2013
Pacific McGeorge School of Law
China’S Currency Practices And “Currency Manipulation”: The Power Of Action In Inaction, Anthony Yu
Global Business & Development Law Journal
No abstract provided.
Behavioral Finance Before Kahneman,
2013
U.S. Court of Appeals for the Seventh Circuit
Behavioral Finance Before Kahneman, Richard A. Posner
Loyola University Chicago Law Journal
No abstract provided.
The D.C. Circuit Court’S Opinion In Hunter V. Ferc: A Panacea For Resolving A Jurisdictional Dispute Or Mere Panache?, 2 J. Marshall Global Mkt. L.J. 69 (2013),
2013
UIC School of Law
The D.C. Circuit Court’S Opinion In Hunter V. Ferc: A Panacea For Resolving A Jurisdictional Dispute Or Mere Panache?, 2 J. Marshall Global Mkt. L.J. 69 (2013), Matthew Kluchenek, Regina Speed-Bost, Laura Chipkin, Rachel Remke
John Marshall Global Markets Law Journal
The Commodity Futures Trading Commission (“CFTC”) and the Federal Energy Regulatory Commission (“FERC”) were in a jurisdictional tug-of-war until March 2013, when the D.C. Circuit Court of Appeals issued a much anticipated decision in Hunter v. FERC. This Article discusses the Hunter case, which offered some clarity as to the jurisdictional boundaries of the CFTC and FERC with regard to certain types of futures contracts. Historically, the CFTC has been authorized by the Commodity Exchange Act (“CEA”) to prevent and regulate fraud and manipulation in the futures market. On the other hand, FERC is an independent agency charged with the …
Transatlantic Mutual Recognition In The Field Of Global Financial Regulation, 2 J. Marshall Global Mkt. L.J. 43 (2013),
2013
UIC School of Law
Transatlantic Mutual Recognition In The Field Of Global Financial Regulation, 2 J. Marshall Global Mkt. L.J. 43 (2013), Nico Klein
John Marshall Global Markets Law Journal
International cooperation and coordination among countries is a highly sought after goal for many. In that regard, in order to achieve international cooperation and coordination, this Article focuses on the concept of mutual recognition and the key areas of global financial regulatory reform to which the concept could be applied. The benefits of mutual recognition are increased market liberalization, facilitation of private cross-border movement, and increased regulatory standards. To discuss the concept of mutual recognition, this Article examines the European Union/European Economic Area approach provided by the Markets in Financial Instruments Directive (“MiFID”). This Article reviews the EU’s idea of …
